DAVID THOMAS GRIFFITH

DAVID THOMAS GRIFFITH is currently employed as a Broker and/or Investment Adviser at M. GRIFFITH INVESTMENT SERVICES, INC. located at 555 FRENCH RD - BUILDING 2, NEW HARTFORD, NY, 13413.

DAVID THOMAS GRIFFITH has worked at M. GRIFFITH INVESTMENT SERVICES, INC. since July 02, 1968

Disclosure History

DAVID THOMAS GRIFFITH has 1 Disclosure Event(s).

Date: August 16, 2013
Category: Customer Dispute
Allegations: THE FIRM HAD ALLEGEDLY OVERCHARGED ITS INVESTMENT ADVISORY FEES TO THE CUSTOMERS. THE FIRM AND APPLICANT ELECTED TO SETTLE WITH THE CUSTOMERS FOR AN AMOUNT SIGNIFICANTLY LESS THAN WHAT THE CUSTOMERS WERE SEEKING IN ORDER TO AVOID THE COST OF LITIGATING THE MATTER IN SOUTH CAROLINA.
Damage Amount Requested: $46,332.08
Settlement Amount: $25,000.00

More Information

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